SEC Form 4 · accession 0000899243-18-015299
Pulmatrix, Inc. · PULM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David L. Hava
Officer — Chief Scientific Officer
Period of report
Jun 5, 2018
Accepted (ET)
Jun 6, 2018 · 6:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001574235
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $0.468 | Jun 5, 2018 | A | 795,000 | A | — | Jun 5, 2028 | Common Stock | 795,000 | 795,000 | D |
Explanation of responses
- F1The option vested as to 25% on June 5, 2018 and the remaining 75% vests in thirty-six (36) equal monthly installments with 2.083% vesting on the last day of each of the next thirty-six (36) months that follow June 5, 2018, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan.